IT SERVICE MANAGEMENT SERVICES FOR THE DIRECTORATE … · TAXUD/C5 – INVITATION TO TENDER TAXUD/2016/AO-01 REF: ITSM3-TES-ToR TAXUD ITSM3 TES – ANNEX 2b – TERMS OF REFERENCE

TAXUD/C5 – INVITATION TO TENDER TAXUD/2016/AO-01 REF: ITSM3-TES-ToR

TAXUD ITSM3 TES – ANNEX 2b – TERMS OF REFERENCE

Section: Acronyms and definitions

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ITSM3 TES ORIGINATOR:

TAXUD/C5

ISSUE DATE:

04/07/2016

VERSION:

FINAL

Invitation to tender TAXUD/2016/AO-01

IT SERVICE MANAGEMENT SERVICES

FOR

THE DIRECTORATE-GENERAL FOR TAXATION & CUSTOMS UNION

ITSM3 Transeuropean

(ITSM3 TES)

Annex 2b:

Terms of Reference




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[Blank for duplex printing]




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Table of contents

1 ACRONYMS AND DEFINITIONS ..................................................................................................... 6

2 REFERENCE DOCUMENTS .............................................................................................................. 9

3 FOREWORD....................................................................................................................................... 11

4 BACKGROUND INFORMATION .................................................................................................... 12

4.1 IT activities of DG TAXUD .................................................................................................... 12

4.1.1 IT in support to policy ............................................................................................. 12

4.1.2 IT Governance ........................................................................................................ 13

4.1.3 TEMPO ................................................................................................................... 13

4.1.4 IT Systems .............................................................................................................. 14

4.1.5 IT Infrastructure ...................................................................................................... 17

4.1.5.1 Common Communication Network (CCN) ......................................... 17

4.1.5.2 DG TAXUD Datacentres ..................................................................... 18

4.1.5.3 DIGIT infrastructure services .............................................................. 18

4.1.6 IT Collaboration ...................................................................................................... 18

4.1.7 IT Supporting tools ................................................................................................. 19

4.1.7.1 ARIS .................................................................................................... 19

4.1.7.2 SYNERGIA ......................................................................................... 19

4.2 Future developments ................................................................................................................ 19

4.2.1 Direct and Indirect Taxation ................................................................................... 19

4.2.2 Customs .................................................................................................................. 22

5 SERVICES PROVIDED BY THE INCUMBENT CONTRACTOR ................................................. 24

6 PRICING MODEL AND VOLUMETRIC ESTIMATES .................................................................. 25

6.1 Pricing model ........................................................................................................................... 25

6.1.1 Continuous Services ................................................................................................ 25

6.1.2 On-Demand Services .............................................................................................. 25

6.1.3 Quoted Time and Means ......................................................................................... 25

6.1.4 Travels and Subsistence .......................................................................................... 25

6.2 Explanations to fill in the Annex 3 'Price table’ to the Tendering Specifications.................... 26

6.2.1 TBP/IS-OO - Services and Deliverables priced at "one off" price .......................... 26

6.2.2 TBP/IS-CS - Continuous Services .......................................................................... 27

6.2.3 TBP/IS-OD - Services and Deliverables priced per unit ......................................... 27

6.2.4 TBP/IS-EXT - Services and Deliverables delivered on an extended time

coverage priced per unit .......................................................................................... 27

6.2.5 TBP/IS-QTM - Services and deliverables priced per average profile unit price ..... 27

6.2.6 TBP/IS-TO - Corrective maintenance of the accepted T€SM tools price ............... 27

6.2.7 TBP/IS-OTH - Provision for WP.7 - Other deliverables & services in the scope

of the contract ......................................................................................................... 27

6.2.8 TBP/IS-MGT - Management costs as a percentage of all services and

deliverables ............................................................................................................. 28

6.2.9 TBP/T&S - Travel & Subsistence costs reimbursement ......................................... 28

6.2.10 TBP/TP - Total Budgetary Provision to cover DG TAXUD maximum

contribution to Transformation Projects ................................................................. 28




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6.2.11 TBP-CONT - Contingency ..................................................................................... 28

6.3 Volumetric estimates ............................................................................................................... 28

7 GOVERNANCE OF THE ITSM3 TES FRAMEWORK CONTRACT ............................................. 29

7.1 Contract and Demand management rules ................................................................................ 29

7.1.1 Initial set-up (and maintenance) of the quantities to be ordered in a specific

contract .................................................................................................................... 29

7.1.2 Signature of specific contracts ................................................................................ 29

7.1.3 Demand management process ................................................................................. 29

7.1.4 Consumption of ordered services ............................................................................ 29

7.1.5 Ordering of additional services (RfE/RfA process) ................................................ 29

7.1.6 Paperless electronic means ...................................................................................... 29

7.2 Progress follow-up ................................................................................................................... 30

7.2.1 MPR/MSR and BMM ............................................................................................. 30

7.2.2 Steering committee ................................................................................................. 30

8 ANNEX 1 – MAPPING ITSM3 TES SERVICES WITH ITSM2 LOT2 SERVICES ........................ 31




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Table of Tables

Table 1: List of acronyms ...................................................................................................................................... 8

Table 2: Reference Documents ............................................................................................................................. 9

Table of Figures

Figure 1: Trans-European System Development Lifecycle .............................................................................. 16




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1 Acronyms and definitions

In this document, the Directorate-General Taxation and Customs Union of the European Commission, which is

the Contracting Authority, will be further referred to as 'the Commission' or 'DG TAXUD'.

'Tenderer' is to be understood as an economic operator who has submitted a tender with a view to concluding a

contract. In this call for tenders, 'Tender' and 'Bid' are used as synonyms.

Acronyms and Definitions

Acronym Definition

BL Baseline

BMM Bilateral Monthly Meeting

BPM Business Process Management

CCN Common Communications Network

CCN2 Common Communications Network 2

CCN2-DEV Development Contractor for CCN2

CIRCA Communication and Information Resource Centre Administrator

COBIT Control OBjectives for Information and related Technology

CQP Contract Quality Plan

CSIP Continuous Service Improvement Programme

CUSTDEV Development contractor for Customs systems (currently CUST-DEV3)

DAC1, DAC2, DAC3 Dispositions d'Application du Code

DC Data Centre

DG Directorate-General

DG TAXUD Directorate-General Taxation and Customs Union

DIGIT Directorate-General for Informatics

DIGIT/DC Data Centre of the European Commission / DIGIT Data Centre

ECAS European Commission Authentication Service

ECS Export Control system

EIS European Information Systems

EMCS Excise Movement and Control System

ESTAT Eurostat

EU European Union




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FATCA Foreign Account Tax Compliance Act

FITSDEV Development contractor for Fiscalis systems1 (currently FITSDEV3)

FP Fixed Price

FQP Framework Quality Plan

FYROM Former Yugoslav Republic of Macedonia

ICS Import Control system

ICT Information & Communications Technology

ISO International Organisation for Standardisation

IT Information Technology

ITIL IT Infrastructure Library

ITSC IT Steering Committee

ITSM IT Service Management

ITSM2 IT Service Management 2 (ITSM2 Programme preceding ITSM3)

ITSM3 IT Service Management 3 (ITSM3 Programme following ITSM2)

ITSM3 Operations ITSM3 Operations (ITSM3 Programme following ITSM2 Lot1)

ITSM3 TES ITSM3 Transeuropean (ITSM3 Programme following ITSM2 Lot2)

ITSM3 Integration ITSM3 Integration (ITSM3 Programme following ITSM2 Lot3)

IWP Internal Working Procedures

LISO Local Information Security Officer

MASP Multi-Annual Strategic Plan

MPR Monthly Progress Report

MRA Mutual Recognition Agreement

NA National Administration

NCTS New Computerised Transit System

OD On Demand services

OHIM Office for Harmonization in the Internal Market

OLA Operational Level Agreement

1 Covering Direct Taxation, Indirect Taxation, Recovery of Claims and Excise




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OLAF European Anti-Fraud Office

QTM Quoted Time and Means

RfA Request for Action

RfC Request for Change

RfE Request for Estimation

RfO Request for Offer

SC Specific Contract

SMT Service Management Tool

SMT Tool (Synergia) Service Management Tool

SPEED2 Single Portal for the Entry and Exit of Data Version 2

SPOC Single Point of Contact

SURV Surveillance system

T&S Travel and Subsistence

TA Technical Annex

TAXUD Taxation and Customs Union

TEMPO TAXUD Electronic Management of Projects Online

TES Trans-European System

TESM Trans-European System Management

TIR Transports Internationaux Routiers

ToC Terms of Collaboration

ToR Terms of Reference

UCC Union Customs Code

URL Uniform Resource Locator

USA United States of America

VAT Value-Added Tax

VIES VAT Information Exchange System

WP Work package

xDEV Development contractors (FITSDEV, CUSTDEV, CCN2-DEV)

Table 1: List of acronyms



Section: Reference documents

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2 Reference documents

Reference Documents

Ref. Title Reference Version Date

[R1] Call for tenders-ITSM3-TES-

Tendering Specifications

Call for tenders-ITSM3-

TES-Tendering

Specifications

1.00 TBD

[R2] Call for tenders-ITSM3-TES-

Technical Annex


TES Annex 2a 1.00 TBD

[R3] Call for tenders-ITSM3-

Operations-Technical Annex


Operations Annex II.A 1.00 06/11/2015

[R4] Call for tenders-ITSM3-

Operations-Terms of Reference


Operations Annex II.B 1.00 06/11/2015

[R5] ITSM2 Lot2 Technical Annex ITSM2 Lot2 Technical

Annex FINAL 21/11/2011

[R6] ITSM2 Lot2 FQP & Annexes ITSM2 Lot2 FQP &

Annexes 4.0 13/05/2016

Table 2: Reference Documents

The ITSM2 Lot2 Baseline (BL) provides the documents and reports on DG TAXUD IT activities of relevance

for this call for tender. It is available at the URL

https://circabc.europa.eu/w/browse/e2cca12f-b6bf-4b77-97c8-932bd59b6578

with the following parameters to sign in:

(Click on Library on the left side of the screen. The BL documents are stored in the library LOT2). This base

line is organised according to ITSM2 Lot2 Work Packages. Annex 1 of [R1] provides a matrix of

correspondence between ITSM2 Lot2 and ITSM3 TES Work Packages, Services, and Deliverables.

The ITSM3 TES tenderer shall take into account that this baseline reflects the situation applicable at the time of

publication of this call for tenders. This situation will evolve until the start of the Framework Contract.

The documents listed above can be consulted from the baseline except for:

[R1] and [R2], which are part of the technical specifications of this Invitation to Tender

[R3] and [R4], which are part of the technical specifications of the call for tenders ITSM3 Operations

available here:

http://ec.europa.eu/taxation_customs/common/tenders_grants/tenders/ao_2015_03_en.htm

The ITSM2 Lot1 Baseline (BL) provides additional documents useful for ITSM3 TES contractor to get and

maintain a holistic understanding of the IT services ecosystem in which it has to deliver its services. It is

available at the URL

https://circabc.europa.eu/w/browse/dbcf3e52-bf1a-4db7-b321-4b12f889ac7f

https://circabc.europa.eu/w/browse/e2cca12f-b6bf-4b77-97c8-932bd59b6578

http://ec.europa.eu/taxation_customs/common/tenders_grants/tenders/ao_2015_03_en.htm

https://circabc.europa.eu/w/browse/dbcf3e52-bf1a-4db7-b321-4b12f889ac7f



Section: Reference documents

Page 10 of 44

with the following parameters to sign in:

Domain: External

User Identifier: itsm2lot1baseline

Password: HJA(3,t:H]C^



Section: Foreword

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3 Foreword

The Technical Specifications of the call for tenders ITSM3 TES are split into three core documents:

The Terms of Reference (ToR) – this document – provides an overview of the current services that

need to be taken over by the ITSM3 TES contractor from ITSM2 Lot2, and insights on expected

evolutions in the medium and long term;

The Technical Annex (TA, document [R2]) defines the ITSM3 TES requirements in terms of quality,

services, staffing and infrastructure. It also describes the Service Level Agreement (SLA, with

indicators), and a preliminary list of deliverables to be provided by the ITSM3 TES contractor;

The ITSM2 Lot2 Framework Quality Plan and its Annexes (FQP, document [R6]) provide an

exhaustive and detailed description of the services provided by the incumbent ITSM2 Lot2 contractor,

as they must be taken over without degradation of service by the ITSM3 TES contractor. These

documents are completed by Internal Working Procedures (IWP) that can be also found in the

baseline.

Throughout this call for tenders, references are also made to:

The Technical Specifications of the invitation to tender ITSM3 Operations (Technical Annex [R3]

and Terms of Reference [R4]);

ITIL: IT Infrastructure Library for the implementation of the IT Service Management processes

(ITSM). More information on ITIL is available on: https://www.axelos.com/

COBIT: Control OBjectives for Information and related Technology. Refer to http://www.isaca.org for

the COBIT 5.0 specifications;

TEMPO: DG TAXUD methodology to ensure the consistent and efficient management, set-up,

development, operation, and support of projects and service management. The tendering parties are

invited to access TEMPO at the following URL:

https://circabc.europa.eu/w/browse/397be292-a066-451d-8cf3-988f115f098d

With the following parameters to sign in:

ISO standards:

o ISO 20000-2:2013 (IT Service Management Part 2 – Code of Practice)

o ISO 27001:2013 (IT Security Techniques – Information security management systems)

o ISO 27002:2013 (IT Security Management – Code of Practice for information security

management);

The Baseline of ITSM2 Lot2 as mentioned in Section 2 - Reference documents;

The Baseline of ITSM2 Lot1 (predecessor of ITSM3 Operations) as mentioned in Section 2 -

Reference documents.

In case of conflict between the applicable documents, the following order of decreasing precedence shall prevail,

unless otherwise stated:

The ITSM3 TES call for tenders (of which this document is part) and the documents referenced in the

call for tenders;

The documents included in the Baseline of ITSM2 Lot2;

TEMPO.

References to DG TAXUD organisation are based on the organisational structure at the time of writing this call

for tenders. This organisational structure might evolve until the start of the Framework Contract and over its

lifetime.

https://www.axelos.com/

http://www.isaca.org/

https://circabc.europa.eu/w/browse/397be292-a066-451d-8cf3-988f115f098d



Section: Background information

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4 Background information

4.1 IT activities of DG TAXUD

4.1.1 IT IN SUPPORT TO POLICY

DG TAXUD is responsible for the customs and taxation policies of the EU. The taxation policy includes the

excise, indirect and direct taxation policies. DG TAXUD is also a key player in the preparation of enlargements,

in particular concerning Turkey (for the customs transit regime), Serbia, and the former Yugoslav Republic of

Macedonia (fYRoM). In addition, due to the international nature of the customs activity, a number of agreements

with third countries (such as the USA, Japan, China, and Russia) exist and are being developed to support

international trade. In order to facilitate exchanges with these countries, DG TAXUD operates the Single Portal

for the Entry and Exit of Data (SPEED2) that allows secure data exchange with these partners. It already

supports or will do so in future all external message flows (Single Window, Transit, Mutual recognition,

International exchanges for taxation, etc.).

DG TAXUD also collaborates with OLAF, OHIM, ESTAT, Norway, Switzerland, and others to allow use of its

CCN infrastructure, either for customs and taxation related matters or, for ESTAT, in the course of a pilot project

connecting national statistical offices.

The functioning of the internal market has necessitated in the last 25 years the development of a significant

number of major IT systems in the areas of taxation and customs. These IT systems assure a rapid information

flow to provide further facilitation to economic operators and to implement 'e-government' facilities in the

customs and taxation areas whenever appropriate.

DG TAXUD provides the National Administrations2, economic operators

3, citizens and the Commission internal

staff with a wide portfolio of IT services. The quality of these services is critical for the sustainability of EU

policies and objectives in the field of customs and taxation.

These IT services calls for the implementation and operation of IT Information Systems:

Trans-European IT Systems (named Trans-European Systems, or TES, in the rest of the text) for the

policies calling on the National Administrations (NA) and the Commission to exchange information

and IT services amongst themselves;

Central applications of the Commission delivering IT Services to the NAs, the traders’ communities

and the Commission Services, for instance applications to manage reference data or dissemination

applications to the wide public (e.g. via the Europa website);

Trans-European Service Management tools (TESM) delivering IT Service Management Services

to the NAs and the Commission Services, for instance conformance tests and monitoring applications.

DG TAXUD IT systems have a legal basis and receive budgetary support from EU current (and successor)

programmes for which they represent a significant part (more than 80%) of the expenditure:

The Customs 2020 Programme offers Member States a Union framework to develop, facilitate, and

enhance co-operation between customs authorities, which is more cost-efficient and effective than if

each Member State were to set up individual co-operation frameworks on a bi-lateral or multi-lateral

basis. The IT capacity building aspect of the Programme covers the development, maintenance,

operation, and quality control of Union components of the European Information Systems set out in

2 The term National Administrations (NAs) encompasses all National Administrations, which have IT

obligations to fulfil Union customs and taxation policies, in all Member States, Candidate and Accession

countries and in non-EU NAs as specified in EU customs and taxation policies.

3 The terms '''economic operators''', '''traders''' and '''businesses''' are used as synonyms in the context of this

document.




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Section A of Annex II of the Customs 2020 Regulation, and new European Information Systems

established under Union law.

The Fiscalis 2020 Programme offers Member States a Union framework to develop, facilitate, and

enhance co-operation between tax authorities, which is more cost-efficient and effective than if each

Member State were to set-up individual co-operation frameworks on a bi-lateral or multi-lateral basis.

The European Information Systems building aspect of the Programme covers the development,

maintenance, operation, and quality control of Union components of the European Information Systems

set out in point A of the Annex of the Fiscalis 2020 and new European Information Systems established

under Union law, with a view to interconnecting tax authorities efficiently.

The Union Customs Code (UCC) provides the legal basis for the completion of the computerisation of customs.

The UCC was adopted on 09/10/2013 as Regulation (EU) No 952/2013 of the European Parliament and of the

Council. The adoption of the new legal provisions accelerated and supported the activities of Member States and

the Commission as from 2014.

In order to support the development of the electronic systems, Commission Implementing Decision of

29/04/2014 establishing the Work Programme for the Union Customs Code (UCC) was adopted. The UCC

Work Programme provides high-level descriptions of the projects known as the 'UCC Projects and related

Electronic Systems'. The content of the UCC Work Programme is closely linked to the Multi-Annual Strategic

Plan (MASP), which is a management and planning tool drawn up by the European Commission in partnership

with Member States, as referred in Article 8(2) of the e-Customs Decision.

A Communication from the Commission, which followed on from the Council Resolution on the simplification

of customs procedures, as well as the Commission Communication on a strategy for the Customs Union and the

related Council Resolution, proposed to make procedures and controls more efficient by simplifying Customs

legislation and making better use of electronic tools in customs procedures.

4.1.2 IT GOVERNANCE

The management of trans-European IT projects involves different levels of governance, involving the

Commission and the National Administrations.

DG TAXUD is assisted by Comitology committees, such as the Customs 2020, Fiscalis 2020 committees, and

the Standing Committee on Administrative Co-operation. These groups are each supported by a sub-committee

dedicated to IT matters. Each IT sub-committee meets several times a year under DG TAXUD's chairmanship

with the participation of heads of IT from National Administrations.

Working groups with the National Administrations deal with technical-related project matters and meet with

a frequency from monthly to quarterly according to the pace of development. Each TES and IT service from the

Commission are overseen by such a working group (e.g. Electronic Customs Co-ordination Group, Customs

Business Group, Customs EIS Operations Group, IT Systems Development Group, IT Technology and

Infrastructure Group, etc.).

DG TAXUD also needs to ensure that any decision on IT matters is taken in full understanding of the context,

challenges, impact and associated risks. For this reason, DG TAXUD applies internally strong IT governance.

All the IT systems are managed under the supervision of an IT Steering Committee (ITSC), chaired by the

Director General, and composed of the board of Directors and of selected heads of unit. The IT Steering

Committee meets regularly (quarterly on average) and takes decisions on IT working plans, priorities and

resource allocation upon submission of proposals from the IT units.

4.1.3 TEMPO

In addition to a technological infrastructure and systems, DG TAXUD has developed over the years a quality

system, TEMPO. This quality system prescribes the functioning of all IT processes and the related contract

management processes. This quality system allows the functioning of the IT organisation of DG TAXUD in a

repeatable and trusted manner.

TEMPO is mainly based on ITIL v2 for service management processes. TEMPO also describes project

management processes.




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During the lifetime of the ITSM3 TES Framework Contract, TEMPO should evolve to comply with a newer

release of ITIL and towards PM2, the internal project management methodology of the Commission.

4.1.4 IT SYSTEMS

DG TAXUD’s IT systems are a unique instrument to sustain the continuity of operation of a broad range of

customs and taxation procedures within the EU.

The main objectives of the IT systems are to:

Support the uniform management of the Customs Union and maintain the fluidity of the flow of

goods at the border of the EU through the availability of customs trans-European systems (TES), such

as the New Computerised Transit System (NCTS), the Export Control System (ECS), and the Import

Control System (ICS). Any unavailability of these systems would have an immediate and highly visible

adverse impact on the economic activity of the EU, such as lorry queues at the borders and ports, loss of

containers, expiry of perishable goods, distortion in the application of legislation, increased risk of fraud

and loss in revenue collection, etc.

Contribute to the fight against fraud:

o In the area of customs: DG TAXUD's IT systems support the sharing of risk profiles amongst

Member States and feed the European Anti-fraud Office (OLAF) with information on sensitive

consignments;

o In the area of taxation: IT systems also allow for a rapid exchange of secure information and

thus for the efficient fight against different types of tax fraud. This is the case in the areas of:

VIES: information in the field of VAT;

Taxation on Savings: information about savings income in the form of interest

payments;

DAC1 : information in the following categories:

Income from employment;

Director’s fees;

Life insurance products not covered by other Union legal instruments on

exchange of information and other similar measures;

Pensions;

Ownership of and income from immovable property.

DAC2: information about some categories of revenue that a beneficial owner who is a

natural person received in a Member States in which he is not resident;

DAC3: information about advance cross-border rulings and advance pricing

arrangements;

Administrative co-operation and mutual assistance;

Better control movement of excise goods across the EU.

Facilitate the handling of tax and customs procedures for citizens and economic operators by

enabling the refund of VAT from a Member State (in which an economic operator is not established)

and through the publication of the most relevant information (including customs tariff, balances of tariff

quotas, VAT number identification), contained in the IT systems, on the Commission’s Europa website.

Some economic operators have integrated the availability of the information in their daily processes.

Therefore, they heavily rely on these services. The success of these services is constantly increasing.




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Most of the IT systems of DG TAXUD are trans-European systems (TES) spanning all Member States of the

EU. The users are the national administrations, the traders’ communities, and the Commission Services. Other

IT systems include systems to manage reference data, test and monitoring applications, and dissemination

applications to the wide public (e.g. via the Europa website).

A TES is a collection of collaborating (orchestrated and choreographed) systems with responsibilities distributed

across the National Administrations and the Commission. The concept of TES includes processes, applications,

services, and infrastructure. There are two main architectural patterns of TES:

Distributed TES: exchanges of information and IT services take place directly between the National

Administrations at EU level (NANA). In this case, the system forms a set of interoperable business

systems implemented and operated by the National Administrations; the National Administrations are

meant to integrate into their own national systems according to the business processes agreed at EU

level;

And/or

Centralised TES (or 'Hub and Spoke' model): exchanges of information or IT Services take place

between National Administrations and the Commission (NAEC); business processes being

orchestrated by a Central Application operated by the Commission.

Exchanges of information and IT services take place on a secured Common Communication Network (CCN

currently migrating to CCN2), according to agreed systems specifications (defining protocols and data formats)

and Terms of Collaboration (ToC) to comply with legal bases and meet policy objectives (e.g. export control,

transit, excise control, VAT information exchange…). Each IT service, should it be under NA or Commission

responsibility, is connected to the CCN/CSI network via an asynchronous queue, a mailbox, a web service, or a

synchronous service.

The development of a TES constitutes a major project running over several years, the full description of which is

available from TEMPO Trans-European Systems (TES) reference manual. The extract from the documentation

provided below introduces the notion of the lifecycle and the respective phases of the trans-European system’s

development project.




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Feasibility StudySystem

Specifications

Supporting

Documentation

OperateConformance

Test + Deployment

Methodology applied by MS is not under EC Control

Build and Internal Tests

Nationally Developed Applications

Application

Test

Application

SpecificationsApplication Build

Application

Test

Centrally Developed Applications

Legal Decision

GO Decision

START

Development

Lifecycle

Agree

System

Specificati

on

Coordination with National Administration

Go / NoGo

Decision

Coordination with DG TAXUD Business - EC

Coordination between DG TAXUD A5 – DG TAXUD C5

Figure 1: Trans-European System Development Lifecycle

TAXUD/C5 – INVITATION TO TENDER TAXUD/2016/AO-0x REF: ITSM3-TES-TA

TAXUD ITSM3 TES – ANNEX 2a – TECHNICAL ANNEX


Page 17 of 44

As examples of some IT systems, one can mention:

In the field of taxation: the VIES network enables the tax administrations to verify trader's VAT

identification numbers and statements of their intra-EU turnover, the VAT on e-Services System

provides for the management of the VAT revenues in connection with services provided on the Internet

by non-EU traders, the VAT Refund System enables traders to obtain the refund of VAT from a

Member State in which they are not established, the DAC2 system enables Member States to exchange

information on some categories of revenues paid to individuals resident in other Member States;

In the field of excise: Excise Movement and Control System (EMCS) allows for the control of

movements of products falling under suspension arrangement of excise duties;

In the field of customs: the Quota System enables to publish the tariff quotas and tariff ceiling to the

trader community, the New Computerised Transit System (NCTS) enables the customs offices to

automatically track and control the movements of goods in transit throughout the EU, the Export

Control System (ECS) provides full control on the conclusion of export operations in particular when

different Member States are involved, the Import Control System (ICS) is devoted to the import

operations, the Surveillance System (SURV) complements the other customs systems and contributes to

the fight against fraud by enabling the surveillance of the movement of goods inside and outside the

EU.

The most recent operational system with high political visibility is the VAT Mini One Stop Shop (MOSS),

which entered operation in the beginning of 2015. It allows a trader to declare electronic services VAT in its

Member State and taxes to be collected in the area of consumption of these electronic services.

DG TAXUD also makes available through the Commission’s Europa website a wide range of information and

services to the citizens and to the traders in order to enable them to consult measures relating to tariff,

commercial and agricultural legislation, tariff quotas, to query authorised economic operators, to consult the list

of transit customs offices, validate VAT numbers, to consult the main taxes in force in the EU Member States or

to query excise numbers.

Overall, in 2015 the IT activities generated around 3.2 Billion of exchanges of information between the Member

States and the Commission amounting for more than 4.7 Terabytes of information. This information exchange

grew by 10 times over the last 5 years and represents an increase of +/- 15% over 2014. NCTS released over

10.18 million transit movements (slight decrease compared to 2014) and ECS handled close to 13.5 million

movements (stable in comparison to 2014).

In 2009, in the context of customs international activities, an electronic connection was launched with Russia to

allow for secure data exchange of TIR movement data, in order to address lorry congestion at the EU-Russia

border. The success of this system led to the development of the more modern SPEED2 platform that ensures

the secure data exchange with Third Countries. The TIR-Russia system in SPEED shall be migrated in 2015 to

the SPEED2 platform, where already other systems are running (e.g. Single Window (EU SW-CVED), MRA

China) or will be deployed in the coming months (e.g. FATCA Pilot, MRA with other countries systems).

4.1.5 IT INFRASTRUCTURE

4.1.5.1 Common Communication Network (CCN)

All these activities rely on a secure and reliable communication between the Member States and with the

Commission. This is realised thanks to a common private interoperability infrastructure (CCN/CSI) that DG

TAXUD has developed and operated for more than 15 years across the Union and that transports a massive

amount of messages and information exchanged, e.g. 3.2 billion messages, 4.7 Terabytes of information. Such an

infrastructure, given its central role, is indeed a very important component of the whole IT architecture to ensure

the security, availability, and continuity of the service. It is managed by the Commission and has evolved over

the years in the largest interoperability infrastructure linking the Commission and Member States, and probably

among the largest administrative networks worldwide.

In total, the number of IT components across the Member States and the Commission interoperating as part of

the Customs and taxation IT trans-European systems exceed 3.600.




Page 18 of 44

4.1.5.2 DG TAXUD Datacentres

DG TAXUD adopted in June 2010 a sourcing strategy guiding in the consolidation of its computer

infrastructures and operation to progress towards operational excellence. In view of this objective, DG TAXUD

has set up two Tier IV level Data Centres in Luxembourg that allowed to create the IT infrastructure necessary to

migrate its IT operational environments previously scattered among 3 locations. The development infrastructure

is also gradually moved to DG TAXUD's own data centres. This will favour a smoother transition from

development to acceptance and production. The infrastructure will be operated by the ITSM3 Operations

contractor.

4.1.5.3 DIGIT infrastructure services

DG TAXUD makes extensive use of DG DIGIT infrastructure services. In fact, the majority of DG TAXUD

central critical applications are hosted in DIGIT Data Centres. The intention is actually to gradually move most

of these applications to DG TAXUD Data Centres.

DG DIGIT offers a complete Service Catalogue of services. The corresponding Infrastructure services used by

DG TAXUD are summarised below:

The Application Housing service is intended for Customers that need to run an application that is not

available through IS hosting services. By using this service, Customers receive a data centre quality

platform up to the Operating System (OS) level, compliant with DIGIT rules and standards, which

enable them to install, run, and maintain their application.

Network infrastructure services are also used by DG TAXUD, in this context it is important to note

that all network flows to and from DG DIGIT are governed by Security Conventions that require to be

maintained and updated in case of connectivity changes.

The award decision for the first Call for Tender for Cloud Services (CLOUD I) was signed in February 2016.

This is the first decisive step for the European Commission towards the use of the Cloud for its own systems.

The CLOUD I call for tender was divided into 3 lots:

Lot 1: Private Infrastructure as a Service (IaaS): compute and storage facilities hosted by a single

provider connected to the EC datacentres by a dedicated private network link;

Lot 2: Public Infrastructure as a Service (IaaS): compute and storage facilities offered over the

public Internet;

Lot 3: Public Platform as a Service (PaaS): more than just storage and compute facilities, this lot also

includes operating systems and/or database services built upon Cloud infrastructure.

The call imposes that all data and infrastructure are deployed on European Union territory only, for essential

security and data protection reasons and to be compliant with EU data handling requirements.

The services requested by DG DIGIT (and available for DG TAXUD usage) are described in the Annex 1 -

Service Requirements of the Lot 2: Public Infrastructure as a Service (IaaS) of the Call for Tender

CLOUD-1 available here:

https://etendering.ted.europa.eu/cft/cft-display.html?cftId=684

The providers (and the services available) are mentioned in the award decisions:

http://ted.europa.eu/udl?uri=TED:NOTICE:446259-2015:TEXT:EN:HTML


4.1.6 IT COLLABORATION

Reducing tax gaps, providing better services to the public and improving the effectiveness of their administration

are on the top of the NAs agendas. As a result, international coordination and cooperation is growing between

the EU Member States. In the face of the on-going changes in the field of Customs, VAT, Direct Taxation,

Recovery, and Excise, substantial enhancements, and new developments in the area of IT are unavoidable.

Taking also into account the budget constraints faced by public administrations, EU Member States agreed that

https://etendering.ted.europa.eu/cft/cft-display.html?cftId=684






Page 19 of 44

the traditional way of developing similar functionalities 28 times is not an efficient use of public funds.

Furthermore, such an approach will not cope with the challenging further developments of existing Taxation IT

systems in a synchronised fashion.

A managed IT Collaboration allows increasing the number of shared IT activities between the Member States as

well as increasing the number of reusable components across the Taxation silos. This reduces the costs for IT

implementation, deployment, and operation in the Member States while offering increased agility in responding

to the EU policy expectation.

DG TAXUD is supporting the NAs to organise IT Collaboration, Member States sharing and reusing of

resources and knowledge for a common objective by facilitating and speeding up the development of working

arrangements between Member States interested in IT Collaboration. Providing experience-based best practices

can serve Member States as a starting point and create a common understanding of the scope and expectations.

Most of the IT collaboration activities are managed through IT Collaboration Projects Groups.

4.1.7 IT SUPPORTING TOOLS

4.1.7.1 ARIS

The Specifications phases of any DG TAXUD project create the foundation documents to be used throughout

the development. The ARIS Business Process Management (BPM) tool provides features for modelling of

specifications items and cartography of IT systems. It also generates outputs in standard interoperable formats,

which facilitates the collaboration with National Administrations of the Member States.

The total amount of models increases every year, reaching 12.700 at the beginning of May 2016. A bit less than

100 users are modelling with ARIS, and 900 are reviewing the ARIS models (main group being the Member

States users).

4.1.7.2 SYNERGIA

Synergia Service Manager is the DG TAXUD IT Service Management Tool (SMT) to support IT operations. It

allows interchange of operational information and assignment of operational tasks related to the DG TAXUD

systems, applications, and environments that are in scope of ITSM2 Framework contracts. Synergia is used by

DG TAXUD, the IT support teams of the various TAXUD subcontractors and other stakeholders (National

Administrations). Synergia SMT is in production since June 2011. It includes Service Management Tool (SMT)

based on HP service Manager, ITSM Portal to interface with Member States National Administrations, SAP

Business Objects (BO) as the reporting tool, User Management Tool (UMT) and LDAP for user and access

rights management.

4.2 Future developments

IT priorities relate to the assurance of the functioning of the customs and fiscal policies through assurance of

business continuity in its IT function. Nevertheless, major improvements of existing systems and implementation

of new ones are foreseen in the coming years.

4.2.1 DIRECT AND INDIRECT TAXATION

The scope of this section provides an overview of provisional IT activities foreseen in the Taxation and Excise

areas in the next years. This strategy is aligned with the strategy of the business units and aims to tackle the tax-

related inefficiencies and obstacles to cross-border economic activity in the Internal Market.

The start of several activities is conditioned by a 'go decision' date, which relies on the result of negotiations with

Member States, for example in Tax Committees or Council. When the 'go decision' date has not been fixed yet,

the planning assumes the most suitable date in order to spread the workload of the different projects over time.

For the coming years, the IT activities to be achieved in Taxation are articulated around the following main axis:




Page 20 of 44

1. Indirect Taxation Related projects: In the field of VAT, all proposals and new projects are aiming at

addressing the significant increase of VAT requests on Europa increasing the efficiency of the internal

market and safeguarding the tax base and national tax revenue. They are grouped in following main

categories of projects, which all require operations and evolutive/corrective maintenance:

a. VAT eForms, for which a technological evolution from a distributed to a web application is

ongoing, Multilateral Cooperation (EUROFISC), Invoicing Rules and VAT Rates Exchanges

(both under TIC project);

b. VAT Refund and Mini-One-Stop-Shop (MOSS): It is likely that MOSS, covering electronic

services, will evolve into a full One-Stop-Shop system, i.e. covering other goods and services,

after 2020;

c. VIES and VIES-on-the-Web for which monitoring and performance improvements are

ongoing;

d. The introduction of an EU VAT Portal, including a clear and binding list of goods and services

not covered by MS standard rates (feasibility study ongoing);

e. The Self-Service Testing System (SSTS) supporting conformance testing, which will be

incorporated in CTA (see below);

f. The Taxation Information and Communication (TIC);

g. The Taxation Statistics System (TSS);

h. The SCAC Statistics eForms (part of TIC).

2. Recovery of Claims:

a. Evolution of the forms to make them more easy to use and efficient, and a technological

evolution from a distributed to a web application;

b. Recovery eForms will be extended to non-EU MS, pending a suitable legal base for this (see

4.b);

c. Given the increased number of notification assistance requests, and the need to ensure data

protection when notifying tax documents abroad, it has been suggested to develop an EU

electronic notification blackboard for notification of tax documents ('Portal for Official

Registration of Tax Orders (PORTO)-notifications');

d. Vehicle information exchange: The development of automatic exchange of information with

regard to vehicle registrations, with the EUCARIS system used as a basis. This may also be of

interest to Indirect Taxation.

3. Direct Taxation related projects. The activities are articulated around four main axis:

a. The main axis of activity is oriented towards transparency.

In February 2013, OECD and G20 countries, working together on an equal footing, adopted a

15-point Action Plan to address Base Erosion and Profit Shifting (BEPS), some of these

actions leading to automatic exchange of information (AEoI) between the tax jurisdictions.

This is particularly the case for the exchanges of rulings that will take place under the BEPS

Action 5 and the country by country reporting that will take place under BEPS Action 13. In

September 2013, the G20 formally requested the OECD to develop a common reporting

standard (CRS). The developed CRS was formally approved by the OECD and was

subsequently endorsed by the G20 in September 2014.

The EU is following very closely the developments of AEoI under the OECD framework and

in March 2013, the Council concluded in the need for close cooperation with the OECD and

the G20 to develop internationally agreed standards for the prevention of BEPS and in

particular its call for the European Union to coordinate its positions. As a consequence, in

December 2014, the EU adopted the text of the CRS by amending the Directive on

Administrative Cooperation (DAC2), in December 2015 a new amendment (DAC3) to cover

the exchanges of rulings, and is about to adopt another amendment (DAC4) to cover the

country by country reporting.

Both the OECD and the EU are therefore having a very similar approach, leading to very close

practical measures to deal with tax erosion. Therefore, in several fora, the EU Member States

have voiced for putting in place IT systems that would cover both the exchanges under the




Page 21 of 44

OECD framework and the EU legislation

b. The second axis of activity relates to the improvements in the tools supporting the exchange of

forms and the forms themselves, including the migration from the stand-alone Java nationally

deployed application to the so-called eForm Central Application (eFCA: see below).

c. The third axis of activity concerns the operations and evolutive maintenance of the existing

systems such as TIN-on-the-Web, DAC1 and Taxation of Savings.

d. The fourth axis of activities is oriented towards the facilitation of the exchanges between the

Member States and third countries by setting in place appropriate communication channels.

The Commission is for example working on interconnecting, via the SPEED2 platform, the

CCN network to the IDES platform provided by the US IRS to support the FATCA exchanges.

A similar activity will take place in the near future to interconnect with the CTS (Common

Transmission System) that the OECD is putting in place to support the exchanges under the

CRS and other BEPS actions. The Commission has also launched a study to investigate the

possibility to extend CCN/Mail to cover the exchanges between the Member States and third

countries.

The projects that may start in the short / medium terms are:

i. Standard Audit File for Taxation (SAF-T);

ii. Implementation of a EU Tax Identification Number (TIN) following the conclusion of

the on-going feasibility study;

iii. Cross-border Withholding Tax Relief at source: FISCO, the equivalent of the OECD

TRACE (Treaty Relief and Compliance Enhancement) system.

4. Other Taxation related projects:

a. The Taxes in Europe Database application (TEDBv2), aiming at providing the citizens with

access to the information on the taxes, which is at the time of writing being reviewed to

enhance the accuracy and relevance of the information it contains and as well the user

experience (TEDBv3).;

b. An eForm Central Application project has been launched and will aim at reducing Member

States deployment costs and efforts by centrally providing the eForms currently used in the

VAT, Direct Taxation, and Recovery areas. This will also ensure homogeneity of the versions

used by the MS. The Commission is also investigating how the eForms application could be

extended to OECD Countries;

c. Financial Tax Transactions (FTT);

d. ORBIS – Central Server;

e. Effective Tax rates.

5. Excise: Future changes to EMCS and related excise business domains, including ‘duty paid’ need to be

timed to align forthcoming legislative changes (possible revisions of Directive 2008/118/EC in 2016,

possible changes to Council Regulation (EU) No.389/2012 in 2017, and the implementation of the

Union Customs Code from 2016 to 2020).

To achieve a higher level of uniformity between legal provisions and IT implementation, and improved

effectiveness and efficiency, excise makes use of the Business Process Modelling methodology, thus

identifying automated and non-automated Excise Business Domains and the gaps between the

automated business processes and their translation into functional requirements.

The Business Domains and related future potential projects are listed below:

Currently automated Excise Business Domains and related activities:

EMCS Core business, consisting of Core business and Interfaces with Customs

systems.

a. Implementation of bar code for the ARC on printout;




Page 22 of 44

b. Definition of a uniform fall back document layout;

c. Definition of ‘journey time’;

d. Need for standard procedural simplifications for trusted traders, based on

Article 31 of Directive 2008/118/EC;

e. Handling of exceptions, ‘time limit’ issues;

f. Establishing automated links between EMCS, the Export Control System

(ECS), and national import system.

Administrative Cooperation;

a. Alignment of the data items and messages for administrative cooperation

requests for duty paid and duty suspended goods;

b. Clarification of the gaps and the relationship between claims, guarantee

management and the Recovery Directive;

Registration and Authorisation Data management - EMCS Economic Operator

registration and reference data (SEED);

Customs Office List management and Reference Data management- CS/RD;

Statistics management and Availability management - Central Services/Management

Information System for EMCS (CS/MISE);

EMCS Test Application, to be integrated in the CTA project (see below);

EMCS Converter.

Excise Business Domains, Candidates for Automation:

Duty Paid Business to Business;

Duty Paid Distance Selling;

Risk Management System;

Exemption management.

Excise Business Domains, the automation of which is currently not part of central planning

(national or possible collaborative development projects):

Guarantee management;

User access management (except for Common Domain applications);

Business continuity management (except for Common Domain applications).

Other possible functionalities supporting non-automated Excise business domains or non-

excise requirements

Support for carrying of Agricultural compliance information;

Tobacco track and trace.

6. Common projects. With Communication COM(2012)722 final, the Commission presented an action

plan and set out how it is possible to improve tax compliance and reduce fraud and evasion, through

better use of existing instruments and the adoption of pending Commission proposals. It also

emphasised the rationalisation of the IT tools with the aim to reduce IT costs for the Member States.

Moreover, other projects are foreseen to improve the IT collaboration of Member States

Administrations on delivering their national projects or to de-silo taxation domains. The main projects

foreseen in the next years are the following:

a. Housing of FITSDEV3 development environment;

b. Housing of MS development environment for IT collaboration projects;

c. Conformance Test Application (CTA). This will support all conformance-testing activities for

trans-European systems across all areas of Taxation and Customs. It will support preparing,

executing, monitoring, and reporting the conformance test activities of National

Administrations. Automation of conformance testing for National Administration using their

trader interface may be envisaged where applicable.

4.2.2 CUSTOMS

The ITSM3 TES does not have in its scope the management of the lifecycle of the customs central business

applications. Nevertheless, the Commission reserves its right during the lifetime of the Framework Contract to




Page 23 of 44

place – partially4 or totally – under the services of the ITSM3 TES contractor any of the existing and/or future

customs central business applications. Therefore, it is important that ITSM3 TES contractor stays aware of the

existence of all customs applications of the Commission placed under the management of the ITSM3

Operations contractor and of the MASP (Multi-Annual Strategic Plan)5 to maintain a holistic understanding of

the IT services ecosystem in which it has to deliver its services. Information about the existing Customs

applications and the future developments are available in [R4].

4 Customs Central applications might use partially the services of ITSM3 TES. At the time this technical annex

is written, decision has just been taken to implement additional services delivered by ITSM2 Lot2 on top of the

application management layer managed by ITSM2 Lot1 for the customs applications COPIS, EOS and CRMS.

The supporting vision documents are provided in the ITSM2 Lot2 Baseline.

5 MASP can be found in the ITSM2 Lot1 baseline.



Section: Services provided by the incumbent contractor

Page 24 of 44

5 Services provided by the incumbent contractor

The ITSM2 Lot 2 services may be summarised as follows (refer to the ITSM2 Lot2 Technical Annex [R5] for a

detailed list and description):

Trans-European systems management (applying same processes as for application management);

Content management for the web-based communication with the National Administrations (via CIRCA,

EUROPA, Lot 1 web tool…);

Upon request, remote and on-site technical support to National Administrations;

Second line support for trans-European systems, the first line being provided by ITSM2 Lot1

contractor;

Support DG TAXUD for ensuring business relationship management with the National Administrations

(business modelling, business monitoring, project follow-up);

Support DG TAXUD for liaison with the National Administrations (coordination meetings and

missions, training);

Plan the deployment of the Trans-European systems;

Testing:

o Management and performance of the conformance testing (with the National Administrations),

relying on the test applications when available;

o Performance of the functional tests of the applications part of the trans-European systems (e.g.

test application to be used during the CT campaigns);

Coordination with the National Administrations (follow-up of national IT planning, testing,

deployment…);

Operations of the trans-European systems, IT Services and TESM tools under Lot 2 scope:

o Monitoring;

o Statistics and reporting;

Security and Business Continuity coordination;

Technical reviews of deliverables from other contractors (e.g. studies, specifications, application testing

reports, operations reports, …);

Support DG TAXUD in tactical and strategic planning, relying on all available sources of information

(ITSM2 Lot2 consolidated planning, National Administrations planning, other contractors'

planning…).

Even if ITSM2 Lot2 was not meant to develop software a specific Work Package (WP.7 – Development of

TESM tools) was foreseen to undertake some ad-hoc development activities to fill gaps in the portfolio of IT

services of DG TAXUD. This WP was never used.

The ITSM3 TES call for tender is the successor of ITSM2 Lot2 Framework contract signed in August 2012,

with the following major exceptions:

Reorganisation of the Work Packages to increase the readability of the ITSM3 TES services. Annex 1

of this document provides a correspondence matrix mapping ITSM2 Lot2 and ITSM3 TES services

and deliverables;

Better description of DG TAXUD expectations per Work Package;

Revamping of SQI/KPI per Work Package;

Addition of internal incident, change and risks management processes focused on ITSM3 TES services

and distinct from the support processes of TES;

The update of the FQP becomes a continuous service and the CQP is no longer requested;

The Continuous Services of activities now include activities that were covered by yearly RfAs on

ITSM2 Lot 2 (National Deviation, Specimen Management System support, eCustoms annual report

and CUstoms BUsiness Statistics (CUBUS) for NCTS, ECS and ICS);

Introduction of Transformation Projects, to which the ITSM3 TES contractor will have to

contribute.



Section: Pricing Model and volumetric estimates

Page 25 of 44

6 Pricing Model and volumetric estimates

6.1 Pricing model

The pricing model is divided in four categories:

Continuous Services;

On-Demand Services;

Quoted Time and Means;

Travels & Subsistence.

6.1.1 CONTINUOUS SERVICES

Continuous Services are the services that take place on a daily basis. They are covered by a Fixed Price (FP) for

the duration of a Specific Contract (SC). The fixed price (FP) elements target to acquire a certain capacity from

the ITSM3 TES contractor to provide the service of the day-to-day activities whilst being able to level out peak

activities. These activities are FP and are referred to hereinafter as 'continuous services'.

The price of the Continuous Services is based on contract metrics (also called ’service parameters’ and defined

in the Annex 3 ‘Price Table’), which are evaluated at the beginning of a Specific Contract, during the Request

for Offer lifecycle as described in the Annex 2a ‘Technical Annex’. The service parameters consumptions are

reported on a monthly basis, in the MSR.

Each service parameter is linked to a Work Package WP.X.Y and the price of a service parameter is intended per

quarter, based on the BASIC service windows. DG TAXUD might request ad-hoc extension of some of the

services to NIGHT or WEEKEND or FULL service windows.

The values of the Service Parameters over the lifetime of ITSM2 Lot2 contract are included in the Annex 10 –

Baseline.

6.1.2 ON-DEMAND SERVICES

Some services and deliverables are requested on an ad-hoc basis, typically workshops, trainings, or meetings.

On-Demand services take place on explicit request by DG TAXUD and are covered by a Request for Action

(RfA) identifying the number of units requested per Work Package / Service or per Work Package / Deliverable.

The evolution of the On-demand service and deliverables over the lifetime of ITSM2 Lot2 contract is included

in the Annex 10 – Baseline – provides information about the Service Parameters of the Continuous Services.

The Annex 3 - Price table provides the best estimates by DG TAXUD with regard to volumes that the ITSM3

TES contractor will have to face during the life of the FWC.

6.1.3 QUOTED TIME AND MEANS

Per Profile services correspond to activities that cannot be covered by Continuous or On-Demand services, and

will be used on an exceptional base. They take place on explicit request by DG TAXUD and should be covered

by a Fixed Price (FP) per profile, in the context of an RfA.

6.1.4 TRAVELS AND SUBSISTENCE

Travels and subsistence costs are reimbursed according to the Article I.5.3. Reimbursement of expenses of the

Annex 9 - Model framework contract.




Page 26 of 44

6.2 Explanations to fill in the Annex 3 'Price table’ to the Tendering Specifications

The Total Budgetary Provision (TBP) is the budgetary provision necessary to perform all the activities and to

provide all specified services and deliverables according the estimated quantities over the maximum duration of

the framework contract. The TBP is the upper limit of budget that the Commission will engage over the duration

of the framework contract.

The Commission provides the estimated quantities for the duration of the framework contract in order to proceed

to the financial comparison of the financial offers received and to calculate the ceiling of the framework contract.

The estimated quantities provide as well an indication of the upper bound of the services quantities that the

Commission envisages to order over the duration of the contract. The Commission does not take any

commitment to order the totality of the estimated quantities set in the spreadsheets. During the validity of the

framework contract, the Commission will order quantities of services according its understanding of its needs at

the time of the request for offer for the Specific contracts, Request for Actions or Quoted Time and Means.

The budgeted quantities provided in the sheet are the resulting sum for each metric when applied over the whole

scope of the framework contract, across all business threads, all TES and all ITS. They are an upper limit for

what will be eventually ordered in several deliverables during the duration of the framework contract. They are

based on a duration of 32 quarters for continuous services and are resulting from a sum over these 32 quarters

(not an average!!!).

Tenderers must complete annex "a3_price_table.xlsx" provided in the tender package of the Commission,

referred to hereafter as 'the price table'. The tenderers must deliver the price table on paper and electronically:

The paper version of this price table must be provided in a separate binder or folder, clearly labelled;

The electronic version of the price table must be provided on a separate hard support (CD/DVD-

ROM/USB Key), also clearly labelled.

The tenderer must fill in the blue cells in the price table. The yellow cells are the results of calculation and the

orange ones are values set by the Commission (estimation of quantities). The tenderer is not allowed to change

either the estimated quantities or the embedded formulas and formats of the price table, unless otherwise

requested by DG TAXUD. The price table contains the necessary formulas to calculate automatically the ceiling

of the framework contract. All cells are locked and protected against change except for the ones to be filled in by

the tenderer. The tenderer must refer to the Annex 2a ‘Technical Annex’ for a detailed description of the

services, deliverables, and related Work Packages.

The tenderer is and remains responsible for the correctness of all the pricing information in its offer. The

attention of the tenderer is drawn to the fact that the price table is provided as it is by the Commission, without

guarantee of any sort. The Commission disclaims any responsibility in case of damage incurred when using it.

The Total Budget Provision (TBP) is divided into the following components (refer to the TBP sheet of the price

table):

6.2.1 TBP/IS-OO - SERVICES AND DELIVERABLES PRICED AT "ONE OFF" PRICE

The unit prices are to be entered by the tenderer in the 'TBP' sheet of the price table.

The price for Takeover has to be all-inclusive and shall cover:

All services and deliverables as defined in the WP.1.1 – Takeover per Business Thread of the Annex 2a

– Technical Annex;

The related travel and subsistence costs to the incumbent ITSM2 Lot2 contractor's premises in Athens,

to DG TAXUD's or any other contractor (ITSM2 Lot1, QA3…) premises in Brussels or to DG TAXUD

Data Centres in Luxembourg.




Page 27 of 44

6.2.2 TBP/IS-CS - CONTINUOUS SERVICES

They cover the whole of the Continuous Services listed in the 'TBPIS-CS' sheet of the price table. The tenderer

must specify its price for Continuous Services, in the 'TBPIS-CS Pricing' sheet as a sum of:

a flat rate per quarter, and

a set of quantity (metric) per quarter multiplied by an associated unit price.

The sum is automatically copied in the 'TBP' worksheet.

DG TAXUD has selected the set of units of quotation with the aim of restricting it to those that can be easily

quantified and unambiguously counted. The tender may quote unit prices for some or all of the entries proposed

for the metrics. The tender is free to select the metrics of its choice amongst those proposed in the price table to

elaborate the pricing model. The tender will leave the unit price to 0 for those metrics it considers as irrelevant

for the pricing model. The metrics are defined in the sheet 'Continuous Services Parameters' of the price table

'a3_price_table.xlsx'.

6.2.3 TBP/IS-OD - SERVICES AND DELIVERABLES PRICED PER UNIT

The tender must specify its unit prices of services and deliverables in the 'TBP' sheet of the price table. Refer to

the Technical annex for the definition/description of the unit of services and deliverables.

6.2.4 TBP/IS-EXT - SERVICES AND DELIVERABLES DELIVERED ON AN EXTENDED TIME COVERAGE

PRICED PER UNIT

The tender must specify its unit prices of services and deliverables in the 'TBP' sheet of the price table. Refer to

the Technical annex for the definition/description of the unit of services and deliverables.

6.2.5 TBP/IS-QTM - SERVICES AND DELIVERABLES PRICED PER AVERAGE PROFILE UNIT PRICE

A set of Work Packages are to be priced on the basis of the unit price per man-day of the team average profile

(Pqa (Quality Assurance), Psec (Security), Pdepl (Deployment), Pbus (Business), Pbusec (Business & Security),

Ptool (T€SM tools) and Ptest (Tester). The tenderer must specify in the 'Profile Pi Pricing' sheet the weighted

average of its own profiles that builds up the daily price for each average profile. The tenderer is invited to add

as many entries as required (up to a maximum of 35) for its own profiles. The resulting prices for the average

profile are automatically transferred from the 'Profile Pi Pricing' sheet into the 'TBP' sheet of the price table.

The Tenderer has also to enter the percentage to be applied on the daily price for services to be delivered during

NIGHT, WEEKEND and FULL service windows6, upon request of the Commission.

The profiles must be the same as those referred to in Section 4.3.2 last bullet and Section 5.2.1 last bullet

of Annex 1 – Questionnaire.

6.2.6 TBP/IS-TO - CORRECTIVE MAINTENANCE OF THE ACCEPTED T€SM TOOLS PRICE

To be expressed per quarter as percentage of the price of accepted T€SM tools and their specifications, to be

specified by the tenderer in the 'TBP' sheet of the price table.

6.2.7 TBP/IS-OTH - PROVISION FOR WP.7 - OTHER DELIVERABLES & SERVICES IN THE SCOPE OF THE

CONTRACT

Set by DG TAXUD.

6 As defined in §6.1 - Service windows of Annex 2a – ITSM3 TES Technical Specifications




Page 28 of 44

6.2.8 TBP/IS-MGT - MANAGEMENT COSTS AS A PERCENTAGE OF ALL SERVICES AND DELIVERABLES

This entry covers the pricing of the block of work packages, deliverables and services enumerated in the

'Management' sheet as single management overhead to be applied on top of the TBP/IS excluding Management

costs. The tenderer must enter its offer regarding the management percentage into the 'TBP' sheet of the price

table.

6.2.9 TBP/T&S - TRAVEL & SUBSISTENCE COSTS REIMBURSEMENT

Set by DG TAXUD.

6.2.10 TBP/TP - TOTAL BUDGETARY PROVISION TO COVER DG TAXUD MAXIMUM CONTRIBUTION TO

TRANSFORMATION PROJECTS

Set by DG TAXUD.

6.2.11 TBP-CONT - CONTINGENCY

15% overall contingency set by DG TAXUD.

6.3 Volumetric estimates

The Annex 3 ‘Price table’ provides the best estimates by DG TAXUD with regard to volumes that the ITSM3

TES contractor will have to face during the life of the FWC. The Commission provides these estimates in order

to proceed to the financial comparison of the financial offers received and to estimate the upper bound of the

budget of the FWC. The estimated quantities provide as well an indication of the upper bound of the services

quantities that the Commission envisages to order over the duration of the contract. The Commission does not

take any commitment to order the totality of the estimated quantities set in the spreadsheets. During the validity

of the framework contract, the Commission will order quantities of services according its understanding of its

needs at the time of the request for offer for the Specific contracts, Request for Actions or Quoted Time and

Means.



Section: Governance of the ITSM3 TES Framework contract

Page 29 of 44

7 Governance of the ITSM3 TES Framework contract

7.1 Contract and Demand management rules

The horizontal Sector PS 'Resources and governance' of the IT unit C5 'Taxation Systems & IT Compliance'

will be in charge of the management of the relationship between DG TAXUD and the ITSM3 TES contractor.7

7.1.1 INITIAL SET-UP (AND MAINTENANCE) OF THE QUANTITIES TO BE ORDERED IN A SPECIFIC CONTRACT

The overall quantities (service parameters for continuous services and number of On-Demand units) are

estimated by the contractor at the time of preparation of the new specific contract to be signed, based on figures

experienced from the past and of discussions with each sector about the perspectives. A provision is foreseen to

cover travel and subsistence costs reimbursement.

Once the specific contract is signed, services with unit price are available for consumption and the follow-up by

the contractor of the corresponding quantities starts (weekly coordination meeting with PS sector). As soon as a

specific quantity for a given service is about to be fully consumed, an RFA may be issued by PS sector to ensure

continuity of service, according to revised estimates provided by the contractor;

7.1.2 SIGNATURE OF SPECIFIC CONTRACTS

PS sector manages the issuing of Request for Offer in collaboration with the other sectors. Unit R1 in DG

TAXUD (contractual and financial matters) will be responsible for the specific contract signature process.

7.1.3 DEMAND MANAGEMENT PROCESS

PS sector will monitor the overall quantities consumption and regularly request business sectors to update the

forecast of their needs.

ITSM3 TES contractor shall send alerts to PS Sector in due time in case of a potential shortfall. This risk should

be limited by weekly meetings between PS sector and ITSM3 TES contractor. During the BMM, the demand

will be reviewed by DG TAXUD and the ITSM3 TES contractor and compared against the actual supply.

7.1.4 CONSUMPTION OF ORDERED SERVICES

The consumptions of ordered services are under the responsibility of the sectors. As a rule, no activity can be

started on contractor's side without the appropriate contractual coverage.

7.1.5 ORDERING OF ADDITIONAL SERVICES (RFE/RFA PROCESS)

PS sector manages the issuing of RfE and RfA in collaboration with the other sectors. The concerned sectors are

involved in the review of offers

7.1.6 PAPERLESS ELECTRONIC MEANS

Paperless electronic means may be put in place during the lifetime of the Framework contract to manage totally /

partially the financial process (RfO, RfE, RfA and Invoicing).

The ITSM3 TES contractor will have to adapt its internal procedures to these new procedures or tools

without additional costs.

7 Refer to §2.1 – IT organisation in DG TAXUD of the Tendering Specifications [R1]



Section: Governance of the ITSM3 TES Framework contract

Page 30 of 44

7.2 Progress follow-up

7.2.1 MPR/MSR AND BMM

PS sector organises the review of the monthly progress, services reports (MPR and MSR), and organises the

progress meeting (BMM, Bilateral Monthly Meeting). The agenda and the timing of the BMM are discussed

beforehand between the contractor and PS sector.

Sectors from units C5/A5/A3 are invited to review the monthly progress and services reports dedicated to its

business (in particular to verify in the MPR the consumed quantities, the dates of services, the deliverables to be

accepted), and sends their comments to ITSM3 TES contractor directly. They are also invited to the BMM.

7.2.2 STEERING COMMITTEE

A quarterly Steering Committee is organised between the Head of Unit C5 and the contractor, focusing on the

strategic aspects of the contract and the risk management. By default, PS sector attends the steering committee

meetings and represents the other sectors. A specific sector may attend the steering committee meeting e.g. in

case of major issue.

Usually one or two preparatory meetings between the contractor and the PS sector are planned the month before

the Steering Committee to ensure a good alignment between contractor and DG TAXUD expectations.



Section: Annex 1 – Mapping ITSM3 TES services with ITSM2 Lot2 services

Page 31 of 44

8 Annex 1 – Mapping ITSM3 TES services with ITSM2 Lot2 services

WP# Service /

Deliverable Description of the Service / Deliverable ITSM2 Lot2 WP ITSM2 Lot2 SE / DLV

WP.0.1 SE.0.1.1 Continuous maintenance of the FQP, its annexes and IWPs WP.0.1 NEW SERVICE

WP.0.1 DLV.0.1.2 1st version of Framework Quality Plan (FQP), its annexes and IWPs along with an FQP

test plan and its FAT report (Bundled with DLV.1.1.3.2.x) WP.0.1 DLV.0.1.1

WP.0.1 DLV.0.1.3 Maintenance version of the FQP, its annexes and IWPs WP.0.1 NEW DELIVERABLE

WP.0.1 DLV.0.1.4 Evolutive version of the FQP, its annexes and IWPs WP.0.1 DLV.0.1.2

WP.0.2 DLV.0.2.1 Forecasts on Service Parameters WP.0.4 NEW DELIVERABLE

WP.0.2 DLV.0.2.2 SC Offer WP.0.4 DLV.0.4.1

WP.0.3 DLV.0.3.1 RFA Offer WP.0.4 DLV.0.4.2

WP.0.3 DLV.0.3.1.x.y Interim or Closure Report for RfA-QTM x, milestone y WP.0.4 NEW DELIVERABLE

WP.0.4.1 SE.0.4.1.1 Demand Management across all threads WP.0.11 SE.0.11.1

WP.0.4.1 DLV.0.4.1.2 Demand Schedule across all threads (annexed to the MPR) WP.0.11 DLV.0.11.2

WP.0.4.1 DLV.0.4.1.3 Monthly Forecast report across all threads (annexed to the MPR) WP.0.11 NEW DELIVERABLE

WP.0.4.1 DLV.0.4.1.4.x Closure Report for RfA-OD x WP.0.11 NEW DELIVERABLE

WP.0.4.2 SE.0.4.2.1 Demand management for DG TAXUD IT services needed by ITSM3 TES contractor WP.0.12 SE.0.12.1

WP.0.4.2 DLV.0.4.2.2 Demand schedule for DG TAXUD IT services needed by ITSM3 TES contractor (annexed

to the MPR) WP.0.12 DLV.0.12.2

WP.0.4.2 DLV.0.4.2.3 Monthly Forecast report for DG TAXUD IT services needed by ITSM3 TES contractor

(annexed to the MPR) WP.0.12 NEW DELIVERABLE

WP.0.4.2 DLV.0.4.2.4.x Closure Report for RfA-OD x WP.0.11 NEW DELIVERABLE

WP.0.5.1 SE.0.5.1.1 Internal Quality Assurance (QA) WP.0.5 SE.0.5.1

WP.0.5.1 DLV.0.5.1.2 Quality records, filed in contractor’s premises, on request from the Commission WP.0.5 DLV.0.5.1.1

WP.0.5.2 SE.0.5.2.1 Internal Quality Control (QC) WP.0.5 SE.0.5.1

WP.0.5.2 DLV.0.5.2.2 Quality Control checks, filed in contractor’s premises, on request from the Commission WP.0.5 DLV.0.5.1.1

WP.0.5.3 DLV.0.5.3.1 Self-Assessments reports WP.0.5.4 DLV.0.5.4.1

WP.0.5.3 DLV.0.5.3.2 Internal Audit reports WP.0.5.5 DLV.0.5.4.2

WP.0.6 SE.0.6.1 Internal Risk Management WP.0.5 SE.0.5.1




Page 32 of 44

WP# Service /


WP.0.6 DLV.0.6.2 Internal risk analysis records, in contractor’s premises, on request from the Commission. WP.0.5.3 DLV.0.5.3.1

WP.0.6 DLV.0.6.3 Internal Risk Register (annexed to the MPR) WP.0.5.3 DLV.0.7

WP.0.7 SE.0.7.1 Internal Incident Management NEW WP NEW SERVICE

WP.0.7 DLV.0.7.2 Incident Log (annexed to the MPR) NEW WP NEW DELIVERABLE

WP.0.7 DLV.0.7.3 Complaint Log (annexed to the MPR) NEW WP NEW DELIVERABLE

WP.0.8 SE.0.8.1 Internal Change Management NEW WP NEW DELIVERABLE

WP.0.8 DLV.0.8.2 Change Log (annexed to the MPR) NEW WP NEW DELIVERABLE

WP.0.8 DLV.0.8.3

Change Impact Analysis report containing:

- the due diligence report;

- The service plan;

- The detailed implementation plan;

- The financial impact.

NEW WP NEW DELIVERABLE

WP.0.9.1 SE.0.9.1.1 Attendance at Steerco, BMM and weekly meetings WP.0.6

SE.0.6.1

SE.0.6.6

SE.0.6.8

WP.0.9.1 SE.0.9.1.2 Attendance at ad-hoc meetings WP.0.6 SE.0.6.2

WP.0.9.1 SE.0.9.1.3 Implementation of actions agreed with the Commission WP.0.6 SE.0.6.7

WP.0.9.1 DLV.0.9.1.4 Agenda of Steering Meeting (including supporting material) WP.0.6 DLV.0.6.3

WP.0.9.1 DLV.0.9.1.5 Minutes of Steering Committee WP.0.6 DLV.0.6.5

WP.0.9.1 DLV.0.9.1.6 Agenda of Bilateral Monthly Meeting WP.0.6 DLV.0.6.3

WP.0.9.1 DLV.0.9.1.7 Minutes of Bilateral Monthly Meetings (annexed to the SfA of the MPR) WP.0.6 DLV.0.6.4

WP.0.9.1 DLV.0.9.1.8 Minutes of weekly and adhoc meetings WP.0.6 DLV.0.6.5

WP.0.9.1 DLV.0.9.1.9 Action log (annexed to the MPR) WP.0.7 DLV.0.7

WP.0.9.2 SE.0.9.2.1 Co-operate with the Commission (and any third party elected by it) during quality, process

and security audits WP.0.9 SE.0.9.1

WP.0.9.2 SE.0.9.2.2 Implementation of actions agreed by the ITSM3 TES contractor at the outcome of the

audit. WP.0.9 SE.0.9.3

WP.0.9.2 DLV.0.9.2.3 Positions of the ITSM3 TES contractor on the audit report WP.0.9 DLV.0.9.2




Page 33 of 44

WP# Service /


WP.0.A.1 DLV.0.A.1.1 Monthly Progress Report, bundled with all Monthly Service Reports. WP.0.7

DLV.0.7

DLV.8.1

DLV.8.2

WP.0.A.2 SE.0.A.2.1 Keep the planning of the ITSM3 TES contractor activities up to date and available to the

Commission for information. WP.0.8 SE.0.8.2

WP.0.A.2 DLV.0.A.2.2 Monthly Planning with updated activities, services and deliverables (annexed to the MPR) WP.0.8 DLV.0.8.1

WP.0.B.1 DLV.0.B.1.1 Quarterly DVD-ROM with all deliverables from the past quarter in the context of each SC WP.0.10.1 DLV.0.10.1

WP.0.B.2 DLV.0.B.2.1 DVD-ROM with the full baseline of ITSM3 TES contractor since the start of the contract WP.0.10.2 DLV.0.10.2

WP.1.1.2 DLV.1.1.2.1.x Takeover plan per business thread (including support threads) WP.2.1 DLV.2.1.1-x

WP.1.1.2 DLV.1.1.2.2.x Takeover FAT Test plan per business thread (including support threads) WP.2.1 NEW DELIVERABLE

WP.1.1.3 SE.1.1.3.1.x Takeover per business thread (including support threads) WP.2.1 SE.2.1.3-x

WP.1.1.3 DLV.1.1.3.2.x Takeover FAT report per business thread (including support threads) WP.2.1 DLV.2.1.2-x

WP.1.1.3 DLV.1.1.3.3.x SAT report of the ICT Infrastructure WP.2.1 DLV.2.1.2-x

WP.1.2.1 DLV.1.2.1.1.x Handover Plan per business thread (including support threads) WP.2.2 DLV.2.2.1-x

WP.1.2.1 DLV.1.2.1.2.x Handover FAT test plan per business thread (including support threads) WP.2.2 DLV.2.2.2-x

WP.1.2.1 DLV.1.2.1.3.x Handover SAT test plan per business thread (including support threads) WP.2.2 DLV.2.2.3-x

WP.1.2.2 SE.1.2.2.1.x Handover per business thread (including support threads) WP.2.2 SE.2.2.1-x

WP.1.2.2 DLV.1.2.2.2.x Handover FAT Report per business thread (including support threads) WP.2.2 NEW DELIVERABLE

WP.1.2.2 DLV.1.2.2.3.x Handover SAT Report per business thread (including support threads) WP.2.2 NEW DELIVERABLE

WP.1.2.3 SE.1.2.3.1 Provision of training and support to a third party WP.2.2 NEW SERVICE

WP.1.2.4 SE.1.2.4.1.x "After Handover" support per business thread WP.2.2 SE.2.2.4-x

WP.1.2.4 DLV.1.2.4.2.x Final Hand-over report WP.2.2 DLV.2.2.5-x

WP.1.2.5 SE.1.2.5.1.x Handover exercise (per business thread) WP.2.2 NEW DELIVERABLE

WP.1.2.5 DLV.1.2.5.2.x Handover exercise Plan (and update) WP.2.2 NEW DELIVERABLE

WP.1.2.5 DLV.1.2.5.3.x Handover exercise FAT test plan (and update) WP.2.2 NEW DELIVERABLE

WP.1.2.5 DLV.1.2.5.4.x Handover exercise SAT test plan (and update) WP.2.2 NEW DELIVERABLE




Page 34 of 44

WP# Service /


WP.1.2.5 DLV.1.2.5.5.x Handover exercise FAT test report WP.2.2 NEW DELIVERABLE

WP.1.2.5 DLV.1.2.5.6.x Handover exercise SAT test report WP.2.2 NEW DELIVERABLE

WP.2.1.1 SE.2.1.1.1 Continual Service Improvement of ITSM3 TES Services WP.8.7 SE.8.7.2

WP.2.1.1 DLV.2.1.1.2 CSIP production and maintenance (Quarterly delivery) WP.8.7 DLV.8.7.3

WP.2.1.1 DLV.2.1.1.3 Monthly service report regarding CSIP tactical planning (annexed to the MPR) WP.8.7 DLV.8.7.1

WP.2.1.1 DLV.2.1.1.4 Yearly Maturity Assessment NEW WP NEW DELIVERABLE

WP.2.1.2 SE.2.1.2.1 Contribution to the harmonization of processes, procedures and tools NEW WP NEW SERVICE

WP.2.1.2 DLV.2.1.2.2 Addendum to the CSIP production and maintenance (Quarterly delivery) as referred in

WP.2.1.1 - Continual Service Improvement of ITSM3 Services NEW WP NEW DELIVERABLE

WP.2.1.3 SE.2.1.3.1 Contribution to the optimisation of TES WP.8.4.1.6 SE.8.4.1.6.1

WP.2.1.3 DLV.2.1.3.2 Addendum to the CSIP production and maintenance (Quarterly delivery) as referred in

WP.2.1.1 - Continual Service Improvement of ITSM3 Services WP.8.7 DLV.8.7.3

WP.3.1.1 SE.3.1.1.1 Co-ordination between development and service management WP.8.4.1.2.1

WP.8.4.2.2.1

SE.8.4.1.2.1

SE.8.4.2.2.1

SE.8.4.3.2.1

WP.3.1.2 SE.3.1.2.1 Attendance at review meetings to clarify review comments issued WP.8.4.1.2.2 SE.8.4.1.2.2.2

SE.8.4.2.2.3

WP.3.1.2 DLV.3.1.2.2 Technical review reports of artefacts submitted for review by the Commission or other

contractors, containing the list of review comments WP.8.4.1.2.2

DLV.8.4.1.2.2.1

DLV.8.4.2.2.2

WP.3.2.1 SE.3.2.1.1 Coordination of the NAs, the Commission and other contractors WP.8.4.2.2 SE.8.4.1.3.1

SE.8.4.2.2.1

WP.3.2.2 SE.3.2.2.1 Functional and Technical Support of the NAs WP.8.4.1.3 SE.8.4.1.5.1

SE.8.4.2.5.1

WP.3.2.3 SE.3.2.3.1 Conformance Testing monitoring WP.8.4.1.3 SE.8.4.1.3.1

SE.8.4.1.3.6

WP.3.2.3 SE.3.2.3.2 Ad-hoc Conformance Testing support WP.8.4.1.3 SE.8.4.1.3.1

SE.8.4.1.3.1




Page 35 of 44

WP# Service /


WP.3.2.3 DLV.3.2.3.3.y

Conformance Test Mode 2

• Pre-Conformance test report per NA preCT (y=1)

• Conformance test report per NA CT (y=2)

• Conformance test campaign report (y=3)

• Weekly status report

WP.8.4.1.3 DLV.8.4.1.3.1.y

WP.3.2.3 DLV.3.2.3.4 Conformance test organisation (CTOD) document, submitted to a review cycle by the NAs. WP.8.4.1.3 DLV.8.4.1.3.2

WP.3.2.3 DLV.3.2.3.5 Template for a Start of Operations check list WP.8.4.1.3 DLV.8.4.1.3.3

WP.3.2.3 DLV.3.2.3.6 Start of Operations check list WP.8.4.1.3 DLV.8.4.1.3.4

WP.3.2.3 DLV.3.2.3.7 Frequently Asked Questions (pertaining to CT), kept up to date and available on line for

the stakeholders involved in the Conformance Test campaign. WP.8.4.1.3 DLV.8.4.1.3.5

WP.3.2.3 DLV.3.2.3.8 Result of the NA survey WP.8.4.1.3 NEW DELIVERABLE

WP.3.2.4 SE.3.2.4.1 CTA support NEW WP NEW DELIVERABLE

WP.3.2.5 DLV.3.2.5.1 National deviation per Business Thread / TES (Annexed to the MSR) WP.8.4.1.3 NEW DELIVERABLE

WP.3.3.1 SE.3.3.1.1 Coordination of the NAs, the Commission and other contractors WP.8.4.1.2.1 SE.8.4.2.3.1

SE.8.4.3.3.1

WP.3.3.1 DLV.3.3.1.2 IT Service deployment plan WP.8.4.1.3 NEW DELIVERABLE

WP.3.3.2 SE.3.3.2.1 Ad-hoc Attendance at FAT NEW WP NEW DELIVERABLE

WP.3.3.2 DLV.3.3.2.2 FAT - Addendum to the test plan and test specifications NEW WP NEW DELIVERABLE

WP.3.3.3 SE.3.3.3.1 Ad-hoc Attendance at PreSAT NEW WP NEW DELIVERABLE

WP.3.3.4 SE.3.3.4.1 Ad-hoc Attendance at SAT NEW WP NEW DELIVERABLE

WP.3.3.4 DLV.3.3.4.2 SAT - Addendum to the test plan and test specifications NEW WP NEW DELIVERABLE

WP.3.3.5 SE.3.3.5.1 Functional Testing WP.8.4.2.3 SE.8.4.2.3.1

SE.8.4.3.3.1

WP.3.3.5 DLV.3.3.5.2.x

Functional testing

• Addendum to the test plan and test specifications (x=0)

• Comprehensive functional test report (x=1);

• Functional qualification report (x=2)

WP.8.4.2.3 DLV.8.4.2.3.1.y




Page 36 of 44

WP# Service /


WP.3.4 SE.3.4.1 Populate SMT/CMDB, maintain its data up to date and improve the CMDB for all CI's in

the scope of the contract. WP.8.1.5 SE.8.1.5

WP.3.5 SE.3.5.1

Change Management, including creation/update/follow-up of the RfCs in the SMT/CMDB,

management of the CAB, and production of Release scope document and RfC lists in line

with information in SMT/CMDB and availability of the schedule of changes

WP.8.1.6 SE.8.1.6.1

SE.8.1.6.2

WP.3.5 SE.3.5.2 Release Management, including creation/update of release records in the SMT/CMDB,

availability of the release schedule. WP.8.1.6 SE.8.1.6.3

WP.3.5 DLV.3.5.3.x

Manage the CAB meeting:

• Briefing (x=1)

• Agenda (x=2)

• Facilitation and attendance

• Minutes (x=3)

Or run the CAB by written procedure

WP.8.1.6 DLV.8.1.6.2.y

WP.3.5 DLV.3.5.4 List of Request for Changes per CI WP.8.1.6 NEW DELIVERABLE

WP.3.5 DLV.3.5.5 Release scope document WP.8.1.6 NEW DELIVERABLE

WP.3.6.1 SE.3.6.1.1 Event monitoring WP.8.4.1.4 SE.8.4.1.4.1

WP.3.6.2 SE.3.6.2.1 Update Operational Production data WP.8.4.2.4 SE.8.4.2.4.1

WP.3.6.3 SE.3.6.3.1 Business monitoring and Statistics WP.8.3.1.1 SE.8.3.1.1.1

WP.3.6.3 SE.3.6.3.2 Daily and weekly report on monitoring business operations and statistics WP.8.3.1.1 SE.8.3.1.1.2

SE.8.4.1.4.2

WP.3.6.3 DLV.3.6.3.3 Monthly Service Report - Reporting on business monitoring and statistics WP.8.3.1.1 DLV.8.3.1.1.3

WP.3.6.3 DLV.3.6.3.4 Quarterly Service Report - Reporting on business monitoring and statistics WP.8.3.1.1 DLV.8.3.1.1.3

WP.3.6.3 DLV.3.6.3.5 Ad hoc business analysis and reporting WP.8.3.1.1 DLV.8.3.1.1.4

WP.3.7.1 SE.3.7.1.1 Second level SD and associated support team available during the basic time coverage WP.8.1.1 SE.8.1.1.1

WP.3.7.1 SE.3.7.1.2 Management of the contact list for external users (NAs, traders) and Distribution list per

Business Threads / TES / IT Services NEW WP NEW SERVICE

WP.3.7.1 DLV.3.7.1.3 Contact list for the NAs and Traders NEW WP NEW DELIVERABLE

WP.3.7.1 DLV.3.7.1.4 Distribution list per Business Threads / TES / IT Services NEW WP NEW DELIVERABLE




Page 37 of 44

WP# Service /


WP.3.7.2 SE.3.7.2.1 2nd level incident management, including ensuring integrity of the SMT/CMDB from an

incident perspective. WP.8.1.2 SE.8.1.2

WP.3.7.3 SE.3.7.3.1 Problem management, including ensuring integrity of the SMT/CMDB from a problem

perspective WP.8.1.4 SE.8.1.4

WP.3.7.3 DLV.3.7.3.2 Ex-post analysis of critical incidents WP.8.1.2 NEW DELIVERABLE

WP.3.7.3 DLV.3.7.3.3 Weekly Dashboard per TES NEW WP NEW DELIVERABLE

WP.3.7.4 SE.3.7.4.1 Service Request Management from inception to closure WP.8.1.3.1 SE.8.1.3.1

WP.3.7.5 SE.3.7.5.1 Access Right management to the IT services WP.8.1.3.2 SE.8.1.3.2

WP.3.7.6 SE.3.7.6.1 Remote support WP.8.1.3.4 SE.8.1.3.4

SE.8.4.3.5.1

WP.3.7.6 SE.3.7.6.2

On-site technical support including:

• Deliver the agenda

• Preparation of the on-site support material

• Performance

• Mission report

WP.8.1.3.5 SE.8.1.3.5

WP.3.7.6 SE.3.7.6.3 Ad-hoc support WP.8.1.3.6 SE.8.1.3.6

WP.3.6.3 SE.3.7,6,4 Frequently asked questions related to operation for each TES and ITS in operation

available up to date on line. WP.8.3.1.1

SE.8.4.1.4.3

SE.8.4.2.4.2

WP.3.8.1 SE.3.8.1.1 Organise, facilitate and minute conference calls/virtual meetings/video conference,

including the provision of the supporting telco services WP.8.1.3.3 SE.8.1.3.3

WP.3.8.2 SE.3.8.2.1 Web mastering the web environments for the supported business threads. WP.8.1.1.2 SE.8.1.1.2

WP.3.8.3 SE.3.8.3.1 General support/maintenance of the SMS application NEW WP

(QTM on ITSM2 Lot2)

NEW SERVICE

(QTM on ITSM2 Lot2)

WP.3.8.3 SE.3.8.3.2 Process the Data Input Requests (DIR) NEW WP

(QTM on ITSM2 Lot2)

NEW SERVICE

(QTM on ITSM2 Lot2)

WP.3.8.3 DLV.3.8.3.3 SMS Monthly Service Report NEW WP

(QTM on ITSM2 Lot2)

NEW SERVICE

(QTM on ITSM2 Lot2)




Page 38 of 44

WP# Service /


WP.3.8.4 SE.3.8.4.1.x Processing of statistical information coming from the Member States NEW WP

(QTM on ITSM2 Lot2)

NEW SERVICE

(QTM on ITSM2 Lot2)

WP.4.1.1 SE.4.1.1.1 TES and associated IT services portfolio management, up to date portfolio available on-

line WP.8.4.1.1

SE.8.4.1.1.1

SE.8.4.2.1.1

WP.4.1.2 SE.4.1.2.1

Support IT Collaboration activities:

• Consolidated project planning;

• Consolidated action lists;

• Communication and interaction with Member States regarding planning and actions;

• Periodic coordination calls.

NEW WP

(QTM on ITSM2 Lot2)

NEW SERVICE

(QTM on ITSM2 Lot2)

WP.4.1.3 SE.4.1.3.1 Capacity Management of the TES WP.8.2.2 SE.8.2.2.1

WP.4.1.3 DLV.4.1.3.2 Monthly Service Report - Capacity statistics WP.8.2.2 DLV.8.2.2.1

WP.4.1.3 DLV.4.1.3.3 Evolutive maintenance of Capacity plan for the trans-European systems including review

cycle with the NAs WP.8.2.2 DLV.8.2.2.3

WP.4.1.4 SE.4.1.4.1 Availability Management of the TES WP.8.2.4 SE.8.2.4.1

WP.4.1.4 DLV.4.1.4.2 Monthly Service Report - Availability WP.8.2.4 DLV.8.2.4.2

WP.4.1.4 DLV.4.1.4.3 Evolutive version of the Availability Plan for the trans-European IT services, including

review cycle with the NAs WP.8.2.4 DLV.8.2.4.4

WP.4.2.1 SE.4.2.1.1 MCP Maintenance per business thread WP.8.3.4.1 SE.8.3.4.1.1

WP.4.2.1 DLV.4.2.1.2 Monthly Consolidated Plan (and all its views as defined in WP.4.2.1) per business thread WP.8.3.4.1 DLV.8.3.4.1.2

WP.4.2.2 SE.4.2.2.1 ITOP Update per business thread NEW WP NEW SERVICE

WP.4.2.3 SE.4.2.3.1 Produce on-demand TES Progress and Status Reports WP.8.3.4.2 NEW SERVICE

WP.4.2.3 DLV.4.2.3.2 TES Progress and Status Reports WP.8.3.4.2 DLV.8.3.4.2.1

WP.4.2.4 DLV.4.2.4.1 TES Risk Register (annexed to the MPR) WP.0.7 DLV.0.7

WP.4.3.1 SE.4.3.1 Service Level Management WP.8.2.1 SE.8.2.1.1

WP.4.3.1 DLV.4.3.1.1

Service Report, including exceptions about the services from the Commission per

customer/user community within each business thread and support threads against SLAs

(annexed to the MSR)

WP.8.2.1 DLV.8.2.1.2

WP.4.3.1 DLV.4.3.1.2 Evolutive maintenance of Service Catalogues & SLAs WP.8.2.1.2 DLV.8.2.1.2.2




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WP# Service /


WP.4.3.2 DLV.4.3.2.1

Service Report, including exceptions about the services exchanged amongst NAs and

Commission across the Common Domain, per business thread and support thread, against

Terms of Collaboration (annexed to the MSR)

WP.8.2.1 DLV.8.2.1.2

WP.4.3.2 DLV.4.3.2.2 Evolutive version of Terms of Collaboration WP.8.2.1.4 DLV.8.2.1.4.2

WP.4.3.3 SE.4.3.3.1 Periodic survey of each of the National Administrations WP.8.3.1.2 SE.8.3.1.2.1

WP.4.3.3 DLV.4.3.3.2 Bi-yearly periodic briefing report on "voice surveys" WP.8.3.1.2 DLV.8.3.1.2.1

WP.4.3.3 DLV.4.3.3.3 Yearly NA satisfaction survey material and planning WP.8.3.1.2 DLV.8.3.1.2.2

WP.4.3.3 DLV.4.3.3.4 Yearly NA satisfaction survey report WP.8.3.1.2 DLV.8.3.1.2.2

WP.4.3.4 SE.4.3.4.1 Periodic survey of each of DG TAXUD roles NEW WP NEW SERVICE

WP.4.3.4 DLV.4.3.4.2 Quarterly periodic briefing report on "voice surveys" NEW WP NEW SERVICE

WP.4.3.4 DLV.4.3.4.3 Yearly DG TAXUD roles satisfaction survey material and planning NEW WP NEW SERVICE

WP.4.3.4 DLV.4.3.4.4 Yearly DG TAXUD roles satisfaction survey report NEW WP NEW SERVICE

WP.4.3.5 SE.4.3.5.1 Monitor and report on contractual OLA WP.8.2.1.3 SE.8.2.1.3

WP.4.3.5 DLV.4.3.5.2

Monthly Service Report, including exceptions about the services provided by the ITSM3

TES contractor, per business thread and support thread as applicable against contractual

OLA (annexed to the MSR)

WP.8.2.1 DLV.8.2.1.2

WP.4.3.6 SE. 4.3.6.1 Monitor and report on the service quality of the IT services delivered to the ITSM3 TES

contractor (OLAs) WP.8.2.1.3 SE.8.2.1.3

WP.4.3.6 DLV.4.3.6.2 Monthly Service Report, including exceptions about the services provided by third parties,

per business thread and support thread, as appropriate, against OLAs (annexed to the MSR) WP.8.2.1 DLV.8.2.1.2

WP.4.4.1 DLV.4.4.x NAs Progress Reports NEW WP NEW DELIVERABLE

WP.4.5.1 SE.4.5.1.1 NA Working group meeting - Performance WP.8.3.2.1 SE.8.3.2.1.6

WP.4.5.1 SE.4.5.1.2 NA Working group meeting - Attendance WP.8.3.2.1 SE.8.3.2.1.7

WP.4.5.1 DLV.4.5.1.3 NA Working group meeting - Draft agenda WP.8.3.2.1 DLV.8.3.2.1.1

WP.4.5.1 DLV.4.5.1.4 NA Working group meeting - Briefing WP.8.3.2.1 DLV.8.3.2.1.2

WP.4.5.1 DLV.4.5.1.5 NA Working group meeting - Summary Record including list of actions & agreements WP.8.3.2.1 DLV.8.3.2.1.3

WP.4.5.1 DLV.4.5.1.6 NA Working group meeting - Minutes WP.8.3.2.1 DLV.8.3.2.1.4

WP.4.5.1 DLV.4.5.1.7 NA Working group meeting – Preparation of material WP.8.3.2.1 DLV.8.3.2.1.5




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WP.4.5.2 SE.4.5.2.1 SMM - Attendance WP.8.3.2.3 SE.8.3.2.3.4

WP.4.5.2 DLV.4.5.2.2 SMM - Agenda WP.8.3.2.3 DLV.8.3.2.3.3

WP.4.5.2 DLV.4.5.2.3 SMM - Briefing WP.8.3.2.3 DLV.8.3.2.3.2

WP.4.5.2 DLV.4.5.2.4 SMM - Minutes WP.8.3.2.3 DLV.8.3.2.3.1

WP.4.5.3 SE.4.5.3.1 Coordination Mission - Performance WP.8.3.2.4 SE.8.3.2.4.5

WP.4.5.3 DLV.4.5.3.2 Co-ordination Mission – Preparation of material WP.8.3.2.4 DLV.8.3.2.4.1

WP.4.5.3 DLV.4.5.3.3 Co-ordination Mission - Agenda WP.8.3.2.4 DLV.8.3.2.4.2

WP.4.5.3 DLV.4.5.3.4 Coordination Mission- Briefing WP.8.3.2.4 DLV.8.3.2.4.3

WP.4.5.3 DLV.4.5.3.5 Coordination Mission – Report and evaluation WP.8.3.2.4 DLV.8.3.2.4.4

WP.4.5.4 SE.4.5.4.1 On-site Training /workshop - Performance WP.8.3.2.5 SE.8.3.2.5.5

WP.4.5.4 SE.4.5.4.2 On-site Training/workshop - Attendance WP.8.3.2.5 SE.8.3.2.5.6

WP.4.5.4 SE.4.5.4.3

On-site Training/workshop - Hosting Facilities and infrastructure: Medium sized meeting

room at contractor's premises (one delegate per NA plus 20% extra for Commission and its

contractors)

WP.8.3.2.5 SE.8.3.2.5.7

WP.4.5.4 SE.4.5.4.4

On-site Training/workshop - Hosting Facilities and infrastructure: Big sized meeting room

at contractor's premises (two delegates per NA plus 20% extra for Commission and its

contractors)

WP.8.3.2.5 SE.8.3.2.5.7

WP.4.5.4 SE.4.5.4.5 Webinar - Set-up and operation of the Platform NEW WP NEW SERVICE

WP.4.5.4 DLV.4.5.4.6 On-site Training/workshop - Preparation material WP.8.3.2.5 DLV.8.3.2.5.1

WP.4.5.4 DLV.4.5.4.7 On-site Training/workshop - Agenda WP.8.3.2.5 DLV.8.3.2.5.2

WP.4.5.4 DLV.4.5.4.8 On-site Training/workshop - Briefing WP.8.3.2.5 DLV.8.3.2.5.3

WP.4.5.4 DLV.4.5.4.9 On-site Training/workshop - Evaluation and report (including video recording of the

training session if requested) WP.8.3.2.5 DLV.8.3.2.5.4

WP.4.5.4 DLV.4.5.4.10 Webinar - Preparation material NEW WP NEW SERVICE

WP.4.5.4 DLV.4.5.4.11 Webinar - Agenda NEW WP NEW SERVICE

WP.4.5.4 DLV.4.5.4.12 Webinar - Briefing NEW WP NEW SERVICE

WP.4.5.4 DLV.4.5.4.13 Webinar- Evaluation and report NEW WP NEW SERVICE

WP.4.5.5 SE.4.5.5.1 Technical Meetings with the Commission or other third parties - Conference call WP.8.3.2.2 NEW SERVICE




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WP# Service /


WP.4.5.5 SE.4.5.5.2 Technical Meetings with the Commission or other third parties - Physical Attendance WP.8.3.2.2 SE.8.3.2.2.2

WP.4.5.5 DLV.4.5.5.3 Technical Meetings with the Commission or other third parties - Minutes WP.8.3.2.2 DLV.8.3.2.2.1

WP.5.1.1 SE.5.1.1.1 Security management of Contractor's services WP.8.5 SE.8.5.2

WP.5.1.1 DLV.5.1.1.2 Monthly service report regarding Security of Contractor's Services (annexed to the MSR) WP.8.5.1 DLV.8.5.1.1

WP.5.1.1 DLV.5.1.1.3 Initial security plan for contractor services, addressing Risk Assessment & Analysis,

Security Policy, Security Controls, Security process (Bundled with DLV.1.1.3.2.x) WP.8.5.1 DLV.8.5.1.2

WP.5.1.1 DLV.5.1.1.4 Maintenance version of the security plan for contractor services, addressing Risk

Assessment & Analysis, Security Policy, Security Controls, Security process WP.8.5.1 NEW DELIVERABLE

WP.5.1.1 DLV.5.1.1.5 Evolutive version of the Security plan for contractor services, addressing Risk Assessment

& Analysis, Security Policy, Security Controls, Security process WP.8.5.1 DLV.8.5.1.3

WP.5.1.2 SE.5.1.2.1 Security management of TES WP.8.5.2 SE.8.5.2

WP.5.1.2 DLV.5.1.1.2 Monthly service report regarding Security of TES (annexed to the MSR) WP.8.5.2 DLV.8.5.1.1

WP.5.1.2 DLV.5.1.2.3 Evolutive version of the Security Plan for the Trans-European Systems, including review

cycle with the NAs WP.8.5.2 DLV.8.5.2.2

WP.5.2.1 SE.5.2.1.1 Implementation, deployment and management of the ITSM3 TES contractor IT service

continuity plan WP.8.2.3

SE.8.2.3.1

SE.8.2.3.1.3

WP.5.2.1 SE.5.2.1.2

Testing of the IT service continuity plan for the ITSM3 TES contractor IT services:

• Prepare;

• Manage and co-ordinate.

WP.8.2.3 SE.8.2.3.1.4

WP.5.2.1 DLV.5.2.1.3 Monthly service report regarding Continuity of Contractor's services (annexed to the MSR) WP.8.2.3 DLV.8.2.3.1.4.y

WP.5.2.1 DLV.5.2.1.4

Initial Business Continuity Plan (BCP) for the services delivered by the ITSM3 TES

contractor, including risk analysis and Disaster Recovery Plan (DRP) (Bundled with

DLV.1.1.3.2.x)

WP.8.2.3 DLV.8.2.3.1.1

WP.5.2.1 DLV.5.2.1.5 Maintenance of the Business Continuity Plan (BCP) for the service delivered by the ITSM3

TES contractor, including risk analysis and Disaster Recovery Plan (DRP) WP.8.2.3 NEW DELIVERABLE

WP.5.2.1 DLV.5.2.1.6 Evolutive maintenance of the Business Continuity Plan (BCP) for the services delivered by

the ITSM3 TES contractor, including risk analysis and Disaster Recovery Plan (DRP) WP.8.2.3 DLV.8.2.3.1.2




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WP# Service /


WP.5.2.1 DLV.5.2.1.6.x

Testing of the IT service continuity plan for the ITSM3 TES contractor IT services:

• Plan, test plan (x=1);

• Test report (x=2).

WP.8.2.3 DLV.8.2.3.1.4.x

WP.5.2.2 SE.5.2.2.1 Deployment & management of the IT service continuity plan for the Trans-European IT

Systems WP.8.2.3 SE.8.2.3.2.3

WP.5.2.2 SE.5.2.2.2

Testing of the IT service continuity plan for the Trans-European IT Systems:

• Prepare;

• Manage and co-ordinate.

WP.8.2.3 SE.8.2.3.2.4

WP.5.2.2 DLV.5.2.2.3 Monthly service report regarding Continuity of TES (annexed to the MSR) WP.8.2.3 DLV.8.2.3.2

WP.5.2.2 DLV.5.2.2.4 Evolutive maintenance of the IT Service Continuity plan for the Trans-European Systems

including review cycle with the NAs WP.8.2.3 DLV.8.2.3.2.2

WP.5.2.2 DLV.5.2.2.5.x

Testing of the IT service continuity plan for the Trans-European IT Systems:

• Plan, test plan (x=1);

• Test report (x=2).

WP.8.2.3 DLV.8.2.3.2.4.x

WP.6.1 DLV.6.1.1 Monthly service report regarding the Specifications activities for the TESM tools (Annexed

to the MPR) WP.7 DLV.7.0

WP.6.1 DLV.6.1.2.x

Specification deliverables, as per TEMPO:

• Feasibility Studies;

• Business processes model;

• System Requirement Definition (functional, non-functional/usability) (SRD);

• Functional Specifications (FS);

• Technical Specifications (TS);

• Acceptance Test Specification (ATS).

Costs include the period of guarantee as specified in the contract

WP.7.1 DLV.7.1

WP.6.2 DLV.6.2.1 Monthly service report regarding the Development, Build and deployment activities for the

TESM tools (Annexed to the MPR) WP.7 DLV.7.0




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WP# Service /


WP.6.2 DLV.6.2.2.x

Deliverables related to Design, Build & Deployment support, as per TEMPO:

• Design documentation, including the System Requirement Overview;

• Detailed design, including the interface specification with other applications,

• Test plan, test cases, test data, test configuration specification,

• Infrastructure requirement;

• Documented source code and associated documentation and quality metrics;

• Support documentation and training material addressing infrastructure requirements,

installation procedures, user and service provision manual;

• The FAT report and FAT'ed version, submitted for preSAT;

• Training deployment, operation and technical support on the application to be deployed;

• Problem fixes during preSAT,

• Application & documentation submitted for SAT

Costs include the period of guarantee as specified in the contract

WP.7.2 DLV.7.2

WP.6.3 SE.6.3.1 Corrective maintenance of all artefacts delivered under WP.6.1 and WP.6.2, under the

control of the incident/problem/change/release management processes. WP.7.3 SE.7.3

WP.6.3 DLV.6.3.2 Monthly service report regarding the corrective maintenance activities for the TESM tools

(Annexed to the MPR) WP.7 DLV.7.0

WP.6.4 SE.6.4.1 Operation of T€SM tools WP.8.4.3.4 SE.8.4.3.4.1

WP.6.4 DLV.6.4.2 Monthly service report regarding the operation activities for the TESM tools (Annexed to

the MPR) WP.8.5.1 DLV.8.5.5.1

WP.7 SE.7.x.y Other services in the scope of the contract WP.10 SE.10.x

WP.7 DLV.7.x.y Other deliverables in the scope of the contract WP.10 DLV.10.x

WP.8.1 SE.8.1.1.x Incident Management of a CI during NIGHT service Windows WP.8.8.2 SE.8.8.2.2

WP.8.1 SE.8.1.2.x Incident Management of a CI during WEEK-END service Windows WP.8.8.2 SE.8.8.2.1

WP.8.1 SE.8.1.3.x Incident Management of a CI during FULL service Windows WP.8.8.2 SE.8.8.2.3

WP.8.1 DLV.8.1.4.x End of action report WP.8.8.2 NEW DELIVERABLE

WP.8.2 SE.8.2.1.x Sanity-check of ITSM3 Operations deployment during NIGHT Service Windows WP.8.8.2 SE.8.8.2.2

WP.8.2 SE.8.2.2.x Sanity-check of ITSM3 Operations deployment during WEEK-END Service Windows WP.8.8.2 SE.8.8.2.1




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WP# Service /


WP.8.2 SE.8.2.3.x Sanity-check of ITSM3 Operations deployment during FULL Service Windows WP.8.8.2 SE.8.8.2.3

WP.8.3 DLV.8.2.3.x End of action report WP.8.8.2 NEW DELIVERABLE

<End of Document>